Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 21-00653 | 11/23/2021 | Claimant(s): Lee Hooks Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Matthew Bohenek Arbitrator(s): Karl A. Vogeler Hearing Site: Nashville, TN | ||
| 19-01906 | 09/30/2021 | Claimant(s): Marcia Botsford Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Patricia E. Cowart Arbitrator(s): Jacquelyn M. Shannon, Karl A. Vogeler, Michael I. Rauchway Hearing Site: Tampa, FL |  | Expungement |
| 21-00170 | 09/17/2021 | Claimant(s): Lisa Kulhavi Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): LPL Financial LLC Respondent Lawyers(s): Sara B. Davis Arbitrator(s): Karl A. Vogeler Hearing Site: Tampa, FL | ||
| 21-00374 | 06/18/2021 | Claimant(s): David White Claimant Lawyers(s): David White Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith F. Hoffman Arbitrator(s): Karl A. Vogeler Hearing Site: Jackson, MS | | $31,735 |
| 20-00132 | 06/11/2021 | Claimant(s): Angela Cameron Claimant Lawyers(s): Heather G. Anderson Respondent(s): LPL Financial LLC, Hassan Fawaz Respondent Lawyers(s): Eleonora Yonge, N. Nancy Ghabai Arbitrator(s): Karl A. Vogeler Hearing Site: Nashville, TN | | Expungement |
| 20-02855 | 06/01/2021 | Claimant(s): Brian Robinson Claimant Lawyers(s): Jonathan Schwartz Respondent(s): Morgan Stanley & Co. Respondent Lawyers(s): Trae D. Meyr Arbitrator(s): Karl A. Vogeler Hearing Site: Tampa, FL | ||
| 20-02786 | 04/13/2021 | Claimant(s): Kristopher Flammang Claimant Lawyers(s): Harris Freedman Respondent(s): Securities America. Respondent Lawyers(s): Tyler Schubauer Arbitrator(s): Karl A. Vogeler Hearing Site: Tampa, FL | ||
| 19-02913 | 12/16/2020 | Claimant(s): Maria Redwine Claimant Lawyers(s): William B. Fleming Respondent(s): Morgan Stanley & Co. Respondent Lawyers(s): Adam M. Kauff Arbitrator(s): Langfred W. White, Karl A. Vogeler, John Winslow Griesser Hearing Site: Columbia, SC | | $167,294 |
| 19-01868 | 08/28/2020 | Claimant(s): Mary Hawks, Paul Hawks Claimant Lawyers(s): Paul Hawks Respondent(s): Alex Muscati, Morgan Stanley Respondent Lawyers(s): Christopher M. Sacco Arbitrator(s): Karl A. Vogeler Hearing Site: Tampa, FL | | $0 |
| 18-01945 | 05/21/2020 | Claimant(s): Raymond George Claimant Lawyers(s): Michael S. Taaffe Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Leonel Peraza Arbitrator(s): Richard S. Zaifert, Karl A. Vogeler, Nicholas Gerald Castellano Hearing Site: Tampa, FL | | Dismissed by Rule 12206/12504 |